For Dept/Function: MD & VP

Internal Audit Check List

Auditor:

QMS Process: Management Process (MD & VP) Date of Audit:

If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.1 Management Commitment
1. Does top mgt have evidence of providing > Documented policy statement
commitment to the development and with clearly defined and measurable
implementation of its QMS ? quality objectives approved by MD

2. Does the org's top mgt have evidence of > Customer defined objectives
providing commitment to continually improving (customer specifications) and
its QMS effectiveness by company goals stated in the business
a) communicating to the org the importance of plan and their alignment with the
meeting customer as well as statutory and quality policy statement.
regulatory requirements? > Quality manual according to
b) establishing the quality policy? ISO /TS 16949:2002.
c) ensuring that quality objectives are established? > Management review meeting
d) conducting management reviews? minutes, attendance and adequate
e) ensuring the availability of resources? frequency.
> Action plans and Follow-up.

5.1.1 Process efficiency

Does organization's top management monitor the Review of product realization and
product realization processes and the support support process by top management.
processes to assure their effectiveness and Indicators and records.
efficiency? Reporting process.

5.2 Customer Focus

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
1. Does top management ensure that customer > Description of an objective
requirements are determined and fulfilled with the process.
aim of enhancing customer satisfaction? > Methodology use for surveys.
> Original
Customer data and scope such as
customer satisfaction feedback
(surveys, scorecards, awards, etc.,)

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.3 Quality Policy
1. Does top management ensure that the quality > Documented policy statement
policy: with clearly defined and measurable
a) is appropriate to the purpose of the quality objectives approved by MD.
organization? > Records of improvement.
b) includes a commitment to comply with > Quality objectives
requirements and continually improve the included/linked to the business plan.
effectiveness of the quality management system? > Scope of the Quality objectives.
c) provides a framework for establishing and > Direct interviews with randomly
reviewing quality objectives? selected people of the organization.
d) is communicated and understood with in the > Evidence of periodic review of
organization the quality policy.
e) is reviewed for continuing suitability? > Review of all elements of the
quality system to its continuing
suitability and effectiveness.

5.4 Planning
1) Does the organization's top management ensure
that quality objectives, including those needed to
meet requirements for product are established at
relevant functions and levels within the
organization?

2) Are the organization's quality objectives > Quality cost indicators and
measurable and consistent with the quality policy? quality indices.
> Quality objectives
included/Linked to the business plan.

3) Did top management define any quality > Quality objectives

objectives and measurements? included/linked to the business plan.
> Scope of the Quality objectives

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
4) Are the organization's quality objectives and > Quality objectives
measurements included in the business plan and included/linked to the business plan.
used by top management to deploy the > Management review meeting
organization's quality policy? minutes, attendance and adequate
frequency.

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.5 Responsibility, Authority & Communication
1) Does the organization's top management ensure > Responsibilities and authority as
that the responsibilities and authorities are defined defined in the descriptions,
and communicated with in the organization ? responsibilities matrices, procedures,
and accountabilities documents.

5) Did the organization's top management appoint > Who is the person in charge of
a member of management who, irrespective of this responsibility?
other responsibilities, shall have responsibility > Evidence of activities performed
and authority that includes including empowerment for all
a) Ensuring that processes needed for the quality applicable system elements including
management system are established, implemented design, sales, manufacturing,
and maintained? delivery, etc.
b) reporting to top management on the > Management review minutes.
performance of the quality management system
and any need for improvement?
c) ensuring the promotion of awareness of
customer requirements throughout the
organization?

6) Did the organization's top management > Quality function representative in

designate individual's to represent the needs of the project teams.
customer to address quality requirements, such as > Quality function participation in
selection of special characteristics, setting quality milestones decision points
objectives and related training, corrective and (production release, engineering
preventive actions ? release, … )
> Responsibilities of the job
description of the customer
representative (e.g.. Quality
function).

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
7) Does top management ensure that appropriate > Communication channels and
communication processes are established within timeliness.
the organization?
8) Does the top management ensure that > Communication channels and
communication tacks place within the timeliness.
organization regarding the effectiveness of the
quality management system?
5.6 Management Review
1) Does the organization's top management > Review of all the elements of the
review its quality management system, at planned quality system to ensure its
intervals, to ensure its continuing suitability, continuing suitability and
adequacy and effectiveness? effectiveness.
> Review of quality cost indicators.
> Management review meeting
minutes, attendance and adequate
frequency.
> Action plans and follo

2) Do the organization's management reviews > Evidence of continuous

include assessing opportunities for improvement improvement projects initiated from
and the need for changes to the quality management reviews.
management system, including the quality policy
and quality objectives?

3) Are the organization's records from > Retention of management review

management reviews maintained? meeting minutes.
4) Do the management reviews include all > Review of all the elements of the
elements of the QMS and its performance trends quality system to ensure its
as an essential part of the continual improvement continuing suitability and
process? effectiveness.
> Trends in metrics (business and
customer satisfaction).
> Basis for continuous
improvement projects.

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5) Do the management reviews include > Policy, business plan and
monitoring of quality objectives, and the regular customer satisfaction metrics reports.
reporting and evaluation of cost of poor quality? > Product results (quality, cost,
time) against quality policy goals and
customer specified targets.

6) Are the results of the management reviews > Trends in metrics (business and
recorded to provide, as a minimum, evidence of customer satisfaction).
the achievement of : > Basic for continuous
- objectives specified in the quality policy? improvement projects.
- objectives specified in the business plan? > Management review meeting
- customer satisfaction with product supplied? minutes.
Action plans and follow-up.

7) Does the organization's input to its > Reports prepared for management
management review include information on: reviews.
a) results of audits? > Management review meeting
b) customer feedback? minutes.
c) process performance and product conformity? > Action plans and follow-up.
d) status of preventive and corrective actions? > Content of management review
e) follow-up actions from previous management meeting agenda.
reviews?
f) planned changes that could affect the quality
management system?
g) recommendations for improvement?

8) Do management reviews include an analysis of > Content of management review

actual and potential field-failures and their impact meeting agenda.
on quality, safety, or the environment ?

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
9) Does the output from the organization's > Examples of continuous
management review include any decisions and improvement projects initiated from
actions related to : management reviews.
a) improvement of the effectiveness of the quality > Examples of product
management system and its processes? improvements initiated from
b) improvement of product related to customer management reviews.
requirements?
c) resource needs?

6.1 Provision of Resources

Does the organization determine and provide the > Job descriptions.
resources needed > Training records.
a) to implement and maintain the quality > Quality Plans.
management system and continually improve its > Shift staffing/supervision.
effectiveness? > Personnel workload.
b) to enhance customer satisfaction by meeting
customer requirements?

6.3 Infrastructure
1) Does the organization determine, provide and > Quality manual according to
maintain the infrastructure needed to achieve ISO/TS 16949:2002.
conformity to product requirements? > Product results - internal and
external product failure rate.

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